Sponsored Programs Activity High Level Flow Chart 3/3/09 Sponsor Identification A1 Proposal Development A2 Universal Proposal Reviewed for Compliance A3 University Proposal Approval Received; Submission to Sponsor A4 Sponsor Approves Proposal and Publishes Notice of Award B1-1;2 Sponsor Initiates Award Process B1-3;4 Award Package File Set-Up in OSP B9 Award Package Transferred to GCA B8 Human/Animal Subjects/Biosafety Compliance Confirmation B7 Award Accepted B6 Negotiates Resolves Conflicts B5 Reviews Award and Proposal on File B4 Sponsor Sends Award Document to OSP B3 Project Award Package Renewed; Project No. Assigned; Budget Set Up in C1 Notification and Copy of Award Sent to Applicable Parties C2 Subcontract Development as Applicable C3 Project Technical Performance; Incurs Costs C4 Project Administrative Management C5 90 Days Prior to End Date College Contact Notified of Project Closing D1 College Contacts Coordinate Closing w/ and D2 Project File is Placed in Pay Pending File D9 Provide Equipment and Patent Reports D8 Request Patent/Invention Report D7 Request Equipment Report D6 Reminder to PA to Submit Final Technical Report D5 Final Invoice and Financial Reports D4 Confirmation by of Final Costs D3 Technical Report Submitted to Sponsor D10 Final Payment Received D11 Project File Closed; Audit as Applicable D12 Closed Project Sent to Records Center D13 Closed File Destroyed? D13 OSP = Office of Sponsored Programs (PreAward) = Office of Sponsored Programs Grants Administrator = OSP s Database Specialist GCA = Grants and Contracts Administrator = GCA s Fiscal Manager = Principal Investigator CGC = College Grants Coordinator ADR = Associate Dean for Research CURF = Clemson University Research Foundation ORC = Office of Research Compliance AdPg = Award Package = Clemson University Business Systems SOW = Scope of Work Sub-Doc = Sub-Award Document PPF = Proposal Processing Form MOU = Memorandum of Understanding Colored Alpha Numbered Steps Re Sub-Routine, i.e. A1, A3, etc.
A1-1 Sponsor has been identified to fund a research concept A1-2 If private industry, Mutual Non- Disclosure Agreement (MNDA) and/or Material Transfer Agreement (MTA) A2-1 Proposal development; Principal Investigator () contacts College Grant Administrator (CGC) A2-2 CGC on an as-needed basis contacts Office of Sponsored Programs Administrator () A3-1 CGC initiates formal University review and approval A3-2 OSP certified college and within certification authority? No, CGC forwards to for review then and approval Professional contact; OSP SN; CGC; ADR; VPR&ED Sr. Contract Advisor; none none none VPR &ED MNDA or MTA Sr. Contract Advisor CGC; OSP Proposal Processing Form (PPF); technical scope; budget CGC Notes ; CGC CGC; Dept. Chair; ADR ; ; VPR&ED CGC; ADR Dept. Chair; ADR; CGC CGC; Dept. Chair; ADR; ; VPR&ED Certification Formal Formal Yes Next two steps are by certified office Agreement A3-3 Proposal in compliance? ; CGC; Research Compliance; (Sponsor guidelines; financial and GCA; university policy; human and/or Purchasing; Sponsor animal subjects and/or bio-safety compliant) A4-1 Proposal submitted to sponsor ; CGC; CGC; VPR&ED Formal ; College A4-1 If CURF? Proposal submitted to sponsor CURF; CGC; CGC; VPR&ED; CURF Executive Director Formal ; College B1-1 Sponsor approves Sponsor Sponsor Proposal (Technical) B1-2 Sponsor notifies recipient Sponsor Sponsor (Financial) Proposal B1-3 Sponsor initiates award process; contacts University for additional information Sponsor ; ; CGC Formal as reference B1-4 coordinates additional information request from sponsor CGC; Formal as reference Sponsor; OSP Sponsor Sponsor Sponsored Programs Activity Step Progression (RASIC 1000 Mile View Vs4 3-03-09) Page 1
Step Description Responsible Assistance Approvals Document Doc B3-1 Sponsor sends award to University- -primarily to the OSP Sponsor; Grant; Coop Agreement; Contract; MOU B4-1 reviews award Award document and formal B4-2 Conflicts? Award document and formal B5-1 OSP- GA negotiates and resolves with sponsor conflicts in terms and conditions, SOW, budget B5-2 Conflict resolved? ; ; Sr. Contract Advisor ; CGC; Sr. Contract Advisor; GCA as appropriate; as- needed assistance CGC; GCA; ADR Award document and formal Award document and formal B6-1 If CURF, prepares CURF Performance Agreement ; CURF Executive Director CURF Executive Director CURF Performance Agreement B6-2 Award acceptance; coordinates signature on award doc and enters data into InfoEd B6-3 Award package to the OSP Database Specialist () B7-1 Animal or Human Subjects noted on yellow sheet or PPF? VPR&ED Award document Copy OSP InfoEd and file created Award document formal B7-2 Compliance approvals completed? B7-3 notifies Office of Research Compliance(ORC) ORC B7-4 When compliance approvals completed, ORC notifies B8-1 Award package electronically transferred to Sponsored Programs Accounting and Administration (GCA) for project set-up ORC Committee Coordinator Respective Compliance Committee Award document formal OSP-InfoEd B9-1 Award package file set-up in OSP project files Students Award document formal OSP All OSP personnel for future reference Sponsored Programs Activity Step Progression (RASIC 1000 Mile View Vs4 3-03-09) Page 2
C1-1 GCA Fiscal Manager () reviews AdPg for subclass assignment, billing and reporting requirements, budget, etc. Award document formal C1-2 Project number assigned; budget entered into ; project file set up University; GCA C2-1 Award notice; copy of award emailed CFM; Dept. Adm. Award document; Award notification with Project No. C3-1 If Sub-agreement? VPR&ED Sub-agreement; sub s ; budget from formal C3-2 prepares sub-award document (Sub-Doc); sends to subrecipient C3-3 negotiates conflicts as needed C3-4 Conflict resolved? C3-5 Fully executed sub-agreement received by Sr. Contract Advisor; ; CGC; GCA VPR&ED Sub-agreement; sub s ; budget from formal OSP; GCA OSP; GCA; Sub-recipient : CFM; Dept. Adm.; C3-6 Sub-Doc transferred to GCA for Project file; C3-7 sets-up Purchase Order for PO document GCA; sub-agreement C4-1 Project Technical Performance; ; Sponsor Lab notes; technical info; incurs costs Technical Interim Reports C5-1 Project Administrative Management ; ; CFM ; CFM; OSP- DS CU invoices; Payroll; vendor invoices GCA, College, Dept. C5-2- coordinates necessary payroll sets -up with, Dept. Adm., CFM ; CFM; Dept. Adm. Payroll documentation College; Dept.; University -HR C5-3 receives sub-recipient s invoices, sends to for approval to pay C5-4 reviews sub-recipient s invoice, approves returns to C5-5 initiates payment to subrecipient C5-6 reviews vendor invoices, identifies associated project, gives invoices to department unit personnel Invoice from sub-recipient GCA Invoice GCA; Dept. Unit ; CFM ; CFM; Sponsored Programs Activity Step Progression (RASIC 1000 Mile View Vs4 3-03-09) Page 1
C5-7 Departmental unit personnel enter vouchers to from vendor invoices that generate information for expenditure reports ; Dept. Unit CFM; Report, Budget Status Report, Sponsor Financial Reports (i.e. SF 269) Dept. unit; College C5-8 Expenditures monitoring resolves any expenditure issue discrepancies C5-9 runs financial reports based on expenditures reported in C5-10 Financial report as appropriate and invoices submitted to Sponsor ; Dept. Unit CFM; Dept. Unit C5-11 Payment from Sponsor received Sponsor; CU Accounts Receivable; GCA- F M C5-12 Appropriate project account credited CFM; GCA- FM GCA Director; CFM Corrected journal entries; Payroll corrections ; Budget Status Reports College or Dept. ; Dept. Unit GCA- FM Financial report; invoice GCA Sponsor Sponsor; CU Accounts Receivable; GCA- F M C5-13 Budget amendments CFM; Dept. Unit D1-1 Close out initiated 90 days prior to GCA end date of record for project Resources D2-1 CFM or GCA- College Contact as applicable, coordinate closing proceedings with Consultant ; CFM;GCA- College Contact; Checks; EFT; wire transfers Journal entries; receipt transmittals Dept. ; GCA; Accounts Receivable GCA; University GCA--FM Budget amendment GCA; College D3-1 Confirmation of final costs CFM Project Number LOCKED CFM D4-1 Final invoices and financial reports CFM Invoices and financial reports as appropriate D5-1 Reminder to to submit final technical report Listing of all project closings GCA Website CFM D6-1 Request equipment report Equipment report GCA; Sponsor Sponsor D7-1 Request patent invention ; Tech Transfer Patent report GCA; Sponsor Sponsor D8-1 Provide equipment and patent ; Tech Transfer Equipment report; patent GCA; Sponsor Sponsor reports to sponsor reports D9-1 Project file placed in pay pending Project file GCA GCA Sponsor Sponsored Programs Activity Step Progression (RASIC 1000 Mile View Vs4 3-03-09) Page 2
D10-1 Technical report prepared and submitted with copy to GCA- FM Technical Report and Electronic Sponsor and D11-1 Final payment received? GCA-Cash Manager Yes--Payment received D11-2 File placed in closing drawer Project File GCA Auditors as applicable D11-3 Non-payment issues; resolution? GCA-Cash Manger GCA Director ; Dept. Chair; ADR CFM; D11-4 File reviewed for completeness GCA-Cash Manager D12-1 Project file closed GCA for 3 years D13-1 Closed file to records center University Records Center for 1 year OSP = Office of Sponsored Programs (PreAward) = Office of Sponsored Programs Grants Administrator = OSP s Database Specialist GCA = Grants and Contracts Administrator = GCA s Fiscal Manager = Principal Investigator CGC = College Grants Coordinator ADR = Associate Dean for Research CURF = Clemson University Research Foundation ORC = Office of Research Compliance AdPg = Award Package = Clemson University Business Systems SOW = Scope of Work Sub-Doc = Sub-Award Document PPF = Proposal Processing Form MOU = Memorandum of Understanding Colored Alpha Numbered Steps Represents a Sub-Routine, i.e. A1, A3, etc. Sponsored Programs Activity Step Progression (RASIC 1000 Mile View Vs4 3-03-09) Page 1